Consent order entered in connection with multiple violations of the Arkansas Fair Mortgage Lending Act and the Rules of the Arkansas Fair Mortgage Act.
OVERLAND MORTGAGE CORPORATION AND OVERLAND MORTGAGE MORTGAGE CORPORATION D/B/A HALL OF FAME FINANCIAL AND TERRY G. WILLIAMS
05/26/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
05/18/2010
Consent order in connection with Merrill Lynch, Pierce, Fenner & Smith Incorporated in a settlement of an investigation into the registration of Merrill Lynch Client Associates and Merrill Lynch’s supervisory system with respect to the registrations of Client Associates.
REGISTRATION OF MICHAEL C. IHRIE WITH CALTON & ASSOCIATES, INC.
05/17/2010
Order approving limited agent registration for Micheal C. Ihrie with Calton & Associates, Inc.
P-R-E, LLC d/b/a PHOENIX RENEWABLE ENERGY and STEPHEN R. WALKER
05/11/2010
An order entered directing P-R-E, LLC d/b/a Phoenix Renewable Energy and Stephen R. Walker to stop soliciting and selling securities in violation of the Arkansas Securities Act.
VADDA ENERGY CORP.
05/11/2010
Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.
CONCERT WEALTH MANAGEMENT, INC.
05/04/2010
Consent order entered in connection with violations of the Arkansas Securities Act concerning solicitation letters sent prior to the registration of a registered representative of Concert Wealth Management, Inc.
CREDIT SUISSE SECURITIES (USA) LLC
04/16/2010
Consent order entered in connection with Credit Suisse Securities (USA) LLC in settlement of an investigation into Credit Suisse’s auction rate securities market activities where Credit Suisse agreed to buy back auction rate securities from Arkansas investors and pay a fine.
METAVANTE PAYMENT SERVICES, LLC
04/15/2010
Consent order entered in connection with a violation of the Arkansas Uniform Money Services Act pertaining to an untimely filing with the Department.
MERIDIAN INVESTMENTS, INC. d/b/a MERIDIAN MORTGAGE
04/06/2010
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act pertaining to unlicensed mortgage loan officer activity.